SEC Form 5 · accession 0001209191-16-146577
Woodward, Inc. · WWD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Halbrook
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 21, 2016 · 3:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000108312
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Woodward, Inc. Common StockF1,F2 | Jun 28, 2016 | G | 53,020 | $0.00 | D | 0 | I | By self as trustee for the Benita K. Halbrook Grantor Retained Annuity Trust |
| Woodward, Inc. Common StockF3 | holding | — | — | — | 328,335 | D | ||
| Woodward, Inc. Common StockF4 | holding | — | — | — | 191,893 | I | By Benita K. Halbrook as trustee for the John A. Halbrook Grantor Retained Annuity Trust | |
| Woodward, Inc. Common StockF5 | holding | — | — | — | 79,980 | I | By self as co-trustee for the Benita K. Halbrook Living Trust | |
| Woodward, Inc. Common Stock | holding | — | — | — | 102,000 | I | By self as trustee for the Benita K. Halbrook 2015 Grantor Retained Annuity Trust | |
| Woodward, Inc. Common StockF6,F7 | holding | — | — | — | 251,681 | I | By self as holder of note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F153,020 shares were gifted from the Benita K. Halbrook Grantor Retained Annuity Trust (the "B. Halbrook GRAT") to the Halbrook Family Trust. The Reporting Person has no beneficial ownership of the shares held by the Halbrook Family Trust.
- F2Total reflects transfer, without receipt of consideration, of 42,908 shares from the B. Halbrook GRAT to the Benita K. Halbrook Living Trust (the "B. Halbrook Living Trust").
- F3Total reflects transfer, without receipt of consideration, of 1,065 Halbrook Family Trust Shares to the John Halbrook Living Trust (the "J. Halbrook Living Trust") and 28,746 shares from the John A. Halbrook Grantor Retained Annuity Trust (the "J. Halbrook GRAT") to the J. Halbrook Living Trust. Shares held by the J. Halbrook Living Trust are reported within the Reporting Person's direct ownership.
- F4Total reflects transfer, without receipt of consideration, of 28,746 shares from the J. Halbrook GRAT to the J. Halbrook Living Trust.
- F5Total reflects transfer, without receipt of consideration, of 42,908 shares from the B. Halbrook GRAT to the B. Halbrook Living Trust.
- F6Total reflects transfer, without receipt of consideration, of 1,065 Halbrook Family Trust Shares to the J. Halbrook Living Trust.
- F7The Reporting Person beneficially owns 251,681 shares sold in 2011 to The Halbrook Family Irrevocable Trust (the "Halbrook Family Trust Shares"), of which the Reporting Person's children are the beneficiaries and trustees without dispositive power with respect to the Halbrook Family Trust Shares. The Halbrook Family Trust Shares were sold by the Reporting Person in exchange for a promissory note.